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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

THOMAS PATRICK HALLORAN

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MIAMI, FL

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Search this name across graphsid dfx:ria:3cb0183a-004f-8a7b-c947-c997a6c55630

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Feb 28, 2006 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 24, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Feb 24, 2006
First registration: Feb 28, 2006
Dual registered: yes, broker-dealer
Other names: THOMAS P HALLORAN
IAPD individual key: 5060858

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jun 29, 2015	n/a	yes	MIAMI, FL	Current employment
CAPITAL CLIENT GROUP, INC.	No RAUM reported	Jun 7, 2013	Apr 27, 2015	no	LOS ANGELES, CA\|CARMEL, IN	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Jun 5, 2012	May 17, 2013	no	MIAMI, FL	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Feb 28, 2006	May 22, 2012	no	MIAMI, FL\|JACKSONVILLE, FL\|NEW YORK, NY\|JACKSONVILLE, FL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CAPITAL CLIENT GROUP, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Apr 27, 2015	Jun 29, 2015	63	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	CAPITAL CLIENT GROUP, INC.	May 17, 2013	Jun 7, 2013	21	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	CITIGROUP GLOBAL MARKETS INC.	May 22, 2012	Jun 5, 2012	14	Firm change	Other

Relationships

Registered with (3)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Feb 28, 2006 to May 22, 2012factForm ADV
→ CAPITAL CLIENT GROUP, INC.Registered adviserregistration: previous registration
Jun 7, 2013 to Apr 27, 2015factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Jun 5, 2012 to May 17, 2013factForm ADV

Dated events

No dated event names this entity yet.